Bates News,Industry News - 09-23-19
Bates Welcomes Our Newest Experts and Consultants
Bates is proud to introduce our newest experts and consultants. Follow the links below to view their full bios, or visit our Expert Search page to view the entire Bates roster of experts and consultants.
Donna L. Bartlett
Broker-Dealer Compliance and Anti-Money Laundering Consulting
Donna Bartlett is a Bates Group consultant based in San Diego County, California. As a seasoned compliance professional with extensive and diverse retail securities experience, she is a capable resource to provide broker-dealer compliance and Anti-Money Laundering (AML) consulting services, including drafting and amending policies and procedures, conducting branch audits, performing internal and supervisory control audits, advising on arbitration/litigation matters and training services, among others.
Ms. Bartlett comes to Bates from First Allied Securities, where she served for over 20 years as Chief Compliance Officer. She previously held the role of First Allied’s AML Compliance Officer, and subsequently supported and collaborated with the firm’s AML officer to ensure the ongoing effectiveness of the firm’s AML Compliance program, including CIP, OFAC, Client Due Diligence regulation, and filing of SARs.
RIA and Hedge Fund Compliance, Hedge Fund Operations, Hedge Fund Governance
Frank Giorgio is a Bates Group consultant with more than 20 years of compliance, operational, and accounting experience in the alternative investment space. Mr. Giorgio comes to Bates from Providence Investment Management, where he served as CCO from 2010 until 2017. Mr. Giorgio began his career in alternative investments in 1995 at JP Morgan, where he was responsible for the financial accounting functions of the group internal commodity, hedge fund, and private equity fund of funds. He then went on to serve as a Client Service Director for a hedge fund administrator and as the Chief Financial Officer for a multi-strategy fund hedge fund based in in New York.
Mr. Giorgio was also the CFO and Director of Operational Due Diligence of RBC Alternative Asset Management, an internal fund of funds investment manager. He was part of the team that formed RBC AAM and developed the operational due diligence process of the firm.
Richard A. Rogoff
Retail Securities and Financial Services Litigation, Regulatory & Internal Investigations, Broker-Dealer Employment Litigation
Richard A. Rogoff is a Bates consultant and expert with broad trial and regulatory experience in the broker-dealer and investment practice areas. Throughout his career he has represented financial institutions and individuals in securities enforcement and regulatory matters, securities litigation and arbitration, and internal corporate investigations.
Before joining Bates Group, Mr. Rogoff managed in-house litigation and regulatory defense matters for more than 30 years for the retail brokerage businesses at JPMorgan Chase and Morgan Stanley. He is admitted to the bar in Illinois and California.
Compliance, Supervision, BD/RIA, Insurance and Annuities
William Webb is a financial services executive and consultant based in Chicago, Illinois. Mr. Webb has experience as an expert witness regarding compliance and supervision issues in securities arbitrations and disputes involving investment advisors, broker-dealers, and insurance-affiliated financial services firms. He provides hands-on BD and RIA advice for business formation, compliance and operations, sales and supervision issues, and the intricacies of offering financial services within an insurance-affiliated BD/RIA. As an independent consultant, Mr. Webb has acted as outsourced Financial Principal, CFO and CCO.
Mr. Webb began his career in Chicago with the NASD as a compliance examiner, and later served as a Branch Chief for Broker-Dealer Examinations with the SEC. In that position, he worked on several high-profile cases, including the Orange County bankruptcy. From 2001 to 2012, Mr. Webb was the CFO for Allstate Financial Services as well as Treasurer for Allstate Financial Advisors and Allstate Distributors. Before joining Bates, Mr. Webb designed, implemented, and managed the insurance-affiliated operations Bankers Life Securities (BD) and Bankers Life Advisory Services (RIA).